Chief Compliance Officer Job at Mid-American Wealth, Kansas City, MO

elFTSXk0RTlKRXBPbzk4M1N6L0p3OXpiK0E9PQ==
  • Mid-American Wealth
  • Kansas City, MO

Job Description

Chief Compliance Officer Job Description

Mid-American Wealth Advisory Group is seeking a motivated and detail-oriented Chief Compliance Officer to join our team. The CCO will play a key role in leading the organization's compliance function to ensure full adherence to regulatory requirements, industry standards, and internal policies. This role is central to identifying and mitigating risk, managing regulatory obligations, overseeing internal compliance procedures, and ensuring accurate documentation and reporting. The CCO will also oversee employee licensing and E&O insurance, while maintaining a strong culture of compliance across the organization.

Responsibilities

  • Regulatory Compliance: Ensure the organization maintains 100% compliance with all applicable laws, regulations, and standards. Monitor evolving regulatory requirements and implement necessary changes in policies and procedures.
  • Risk Management: Proactively identify compliance risks and implement mitigation strategies. Develop and maintain a comprehensive compliance risk management framework.
  • Audits & Risk Assessments: Conduct and oversee quarterly audits and bi-annual risk assessments. Analyze audit findings and implement corrective action plans as necessary.
  • Compliance Procedures: Develop, implement, and regularly update compliance-related policies and procedures.
  • Licensing & Insurance Oversight: Manage and verify all employee licensing requirements, ensuring a 100% compliance rate. Ensure errors and omissions (E&O) insurance requirements are fulfilled and maintained. Address licensing issues within 10 days of identification.
  • Reporting & Documentation: Adhere to all regulatory and compliance requirements in all client interactions and documentation. Ensure all reports meet internal and external deadlines with 100% accuracy and completeness.

Qualifications:

  • Bachelor’s degree in Law, Business, Finance, or related field and or minimum 5 years of compliance experience
  • Proven experience in regulatory compliance within financial services
  • Strong communication and leadership skills

Job Tags

Similar Jobs

Tesla

Robotaxi Fleet Support Specialist (Night Shift) Job at Tesla

 ...candidate with positive energy, strong organizational skills, great attention to detail, an exceptional work ethic, and a passion for Teslas mission of sustainable energy. What You'll Do Perform and document vehicle inspections, escalate identified issues to... 

The H&K Group

Electrical Project Manager Job at The H&K Group

 ...internal teams Review drawings, specifications, and contracts to ensure scope compliance Procure materials, equipment, and subcontractor services Oversee change orders, RFIs, submittals, and project documentation Ensure compliance with OSHA regulations, NEC... 

SJS Executives LLC

Interior Designer Job at SJS Executives LLC

***PLEASE NOTE THIS POSITION STARTS OCTOBER 16, 2026*** SJS Executives, LLC (SJS), also doing business as SJS Industrial, is currently seeking a talented Interior Designer that will support ongoing construction operations within a local VA healthcare facility. SJS ...

MNTSTUDIO MILL VALLEY

Clinical & Therapeutic Massage Therapist Job at MNTSTUDIO MILL VALLEY

 ...populations, including pre/postnatal clients and pre/post-surgery rehab.* Deep knowledge of functional anatomy, structural kinesiology, and the fascial system.* Empathetic and intuitive approach to client care, always putting the client's safety and goals first... 

Omniscius Consulting

Data Scientist Job at Omniscius Consulting

 ...Data Scientist Location: Washington, DC Work Arrangement: 100% Onsite 5 Days per Week Clearance: Active Top Secret with...  ...and unstructured datasets. Work with data stored and processed through AWS services, including S3, PostgreSQL RDS, OpenSearch,...